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January 29, 2015 Oppenheimer to Pay $20 Million, Admit Guilt for Penny Stock Violations, Pump-and-Dump Schemes
January 27, 2015 FINRA Fines, Suspends BMA Securities President Burt Martin Arnold for Compliance Failures
January 22, 2015 Ex-UBS Broker Donna Jessee Tucker Barred, Convicted of Fraud for Stealing from Elderly in Ponzi-like Scheme
January 19, 2015 Kevin Luby Fined $25k, Suspended for Disclosure Failures Related to Elderly Customer's Trust and Estate
January 18, 2015 UBS Fined Record $12 Million Plus $2.5m in Disgorgement, Interest for Dark Pool Disclosure Violations
January 16, 2015 Merrill Lynch Fined $175k for Failing to Timely Report Complaints of Defrauding Adviser Who Escaped to LPL
January 14, 2015 FINRA Bars George Carris, Expels Firm John Carris Investments for Fraud and Recklessness
January 13, 2015 David Rose Sentenced, Restitution Ordered for $2 Million Medical Investment Fraud